Joseph David Baker

Employer firm

Ballast Financial Advisors, LLC CRD 304430

$343M regulatory AUM 2 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2009 → 08/2019
  Ameriprise Financial Services, Inc.
  West Conshohocken, PA
• 08/2019 → 02/2021
  Purshe Kaplan Sterling Investments
  Albany, NY
• 08/2019 → Present
  Ballast Financial Advisors, Llc
  West Chester, PA
• 06/2022 → 03/2023
  Origin Financial
  Boston, MA

Previous Registrations

• 2022-06-29 → 2023-03-15
  Origin Investment Advisory Llc
  Sarasota, FL
  Georgetown, DE
• 2010-03-08 → 2019-08-19
  Ameriprise Financial Services, Llc
  West Chester, PA
  Georgetown, DE
  Georgetown, DE
  West Chester, PA
  West Conshohocken, PA
  Rehoboth Beach, DE
  Georgetown, DE

Other Businesses

1)Real Estate Ownership; Single Family ; Not investment related; July 2014. Business Ownership; Rental property; Co-owner; Residential Property that I am a co-owner of and rent out; 1 hour per month 2)Ballast Financial Advisors, LLC / Investment Related / Georgetown, DE / Registered Investment Advisor / Aug 2019 / Managing Member and CCO / 150 Hours per month / 100% During trading hours 3)Ballast & Associates, LLC / Not Investment Related / Georgetown, DE / CPA Firm / Tax Advisory / Owner / Nov 2020 / 10 Hours per month / 100% During trading hours

Exams

• S66 Uniform Combined State Law Examination
  2010-03-05

Designations

• Certified Financial Planner